3. The investment banking process When a firm needs to raise funds in the financial markets, it usually uses the services of an investment banker. Last year Nowitzki Inc. entered into an agreement with Duncan Partners, an investment bank. It has been a year since Nowitzki first registered its shares, but the firm still hasn't gone public. Nowitzki plans to go through with its security issuance in a couple of months. This is an example of: An underwriting syndicate A shelf registration A registration statement A prospectus The cost incurred during the security issuing process is called the A document filed with the Securities and Exchange Commission (SEC) that authorizes a firm's sale of securities at some future date is called